J K R & COMPANY, INC.7145 WOODLEY AVE, VAN NUYS, CA 91406J. ALDEN ASSOCIATES, INC.37 WEST AVE, SUITE 301, WAYNE, PA 19087Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087J. D. SEIBERT & COMPANY, INC.20 WEST 9TH STREET, CINCINNATI, OH 45202-2024J. STREICHER & CO. L.L.C.28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005J. WOOD CAPITAL ADVISORS LLC1820 CALISTOGA ROAD,
I-BANKERS SECURITIES, INC.1200 N FEDERAL HWY, SUITE 215, BOCA RATON, FL 33432I5EQUITY1700 MONTGOMERY STREET, SUITE 108, SAN FRANCISCO, CA 94111Mailing Address: 1700 MONTGOMERY ST, SUITE 108, SAN FRANCISCO, CA 94111IA GLOBAL CAPITAL LLC101 PARK AVENUE, 38TH FLOOR, NEW YORK CITY, NY 10178Mailing Address: 244 MADISON AVENUE, #385, NEW YORK CITY, NY 10016IA SECURITIES (USA) INC.26 WELLINGTON STREET
H & L EQUITIES, LLC1175 PEACHTREE ST., NE, SUITE 2200, ATLANTA, GA 30361-6206H. C. DENISON CO.618 NORTH 7TH STREET, SHEBOYGAN, WI 53081Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028H.C.WAINWRIGHT & CO., LLC430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022HAITONG INTERNATIONAL SECURITIES (USA) INC.452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY 10018HALEY SECURITIES, INC.8712 WEST
E&J SECURITIES CORP.C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005E. E. POWELL & COMPANY INC.200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046E.K. WALLACE SECURITIES LLC25 WEST 13TH STREET, APT. 1AN, NEW YORK
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K CAPITAL LLC805 THIRD AVENUE, FLOOR 14, NEW YORK, NY 10022K. W. CHAMBERS & CO.7800 FORSYTH, 5TH FLOOR, CLAYTON, MO 63105KA ASSOCIATES, LLC2121 AVENUE OF THE STARS, 9TH FLOOR, LOS ANGELES, CA 90067KAHN BROTHERS LLC555 MADISON AVENUE, SUITE 1303, NEW YORK, NY 10022-3301KAL CAPITAL MARKETS LLC3738 BAYER AVENUE SUITE 103, LONG BEACH, CA 90808KALORAMA CAPITAL, LLC1718 22ND ST NW, WASHINGTON,
SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional
For the period of 11/1/2024 through 11/30/2024AAGES FINANCIAL SAGES FINANCIAL SERVICES, LTD.READING, MA, UNITED STATESRESIGNEDALLEN C. EWING &ALLEN C. EWING & CO.JACKSONVILLE, FL, UNITED STATESRESIGNEDAMERAUDI INVESTMAMERAUDI INVESTMENT SERVICES LLC19 E. 54TH STREET, NEW YORK, NY 10022ADMITTEDAMERICAN WEALTHAMERICAN WEALTH MANAGEMENT, INC.ALPHARETTA, GA, UNITED
The Neutral Corner – Volume 4—2024Mission StatementYear End MessageNo Time to Sit Back: The Active Role of the Chairperson as Team Leader by Annamaria Boccia Smith, Esq., Former FINRA ArbitratorFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsFINRA Adopts Amendments to the Codes of Arbitration Procedure to Provide Non-Party Customers With a Copy of the
FINRA is making available in one place on its website a list of firms and individuals responsible for unpaid customer arbitration awards. FINRA is providing the information in this new format to provide greater transparency around those firms and individuals with unpaid arbitration awards and to make this information more readily accessible to investors. The information will also continue to
